Tag: anti-corruption

The Commission proposed a package of rules and interpretations focused on retail investors. At the center of the package is proposed Regulation Best Choice focused on the relation between brokers and their clients. The agency brought another action against an …

This Week In Securities Litigation (Week ending April 20, 2018) Read More »

Tagged with: , , , , , , ,

This Week In Securities Litigation (Week ending March 16, 2018) Chairman Jay Clayton gave definition to his views on the manner in which the agency should allocate its limited resources. Specifically, the Chairman stated that the agency should focus on …

This Week In Securities Litigation (Week ending March 16, 2018) Read More »

Tagged with: , , , ,